Compliance Officer – Research Compliance
New York, New York • $100,000 - $120,000
About the Company:
Our client is a multibillion dollar alternative asset manager headquartered in NYC
Responsibilities:
- Work as a member of the Compliance Data and Research Management team to conduct due diligence reviews of potential data and independent research providers
- Preparation of due diligence memoranda
- Provide compliance support and monitoring of data centric trading teams
- Provide compliance support and monitoring of Market Intelligence teams
- Conduct diligence review of Automated Open Source projects
- Review and maintain tracking mechanisms of approvals
- Assist Compliance Data and Research Management in addressing legal and compliance issues
- Monitor and stay current on applicable laws, regulatory initiatives and case law
- Recommend and draft enhancements to policies and procedures.
Requirements:
- Undergraduate degree from a top school with a minimum GPA of 3.2 required
- Juris Doctorate degree from an accredited law school required
- Minimum of 3 years of relevant Legal or Compliance experience, particularly focusing on the financial services industry
Compensation & Benefits
- Base salary: $100k +
- Bonus Eligibility
- Robust Benefits package
- Additional Company Perks
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